Illinois finra act form 2026

1. Click ‘Get Form’ to open the Illinois FINRA Act form in the editor.
2. Begin by filling out the 'Form BD' section, ensuring you include your $600 filing fee and $150 for each agent. This is crucial for registration as a securities dealer.
3. Next, complete the 'Form BR' for branch office registration, listing each branch located in Illinois and including a $20 fee for each office.
4. Prepare and upload your balance sheet, which must be dated within 60 days of filing. Ensure it includes all assets and liabilities, along with a net capital computation signed by an authorized individual.
5. Provide proof of passing the FINRA principal examination for responsible officers. If this information isn't available through the CRD system, submit it directly to the Illinois Securities Department.
6. Fill out additional required information as specified in Section 130.810(b)(3)-(5) and (7), including details about designated principals and net capital requirements.
7. Finally, complete 'Form U-4' for salesperson registration, ensuring compliance with examination requirements and submitting a $150 fee.

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